Blogs
Posts tagged with Hedge fund
Brexit - Part 4 - What Did We Learn?
Keeping pace with all of the regulatory changes that took place as the result of Brexit was no easy task, as we discovered over the past 18 months! Here are 6 key things that ...
The Silver Screen - How Commodities Became Center Stage of the Retail Trading Revolution
Silver at an eight-year high! Investors should remain vigilant of requirements given changes to silver margins implemented by the CFTC on COMEX and should be wary of Position ...
Has The Time For The AI Compliance Officer Arrived?
Innovative technologies have transformed the financial industry at all levels, and the compliance officer's role is no different.
CFTC Position Limits - An Overview of the Changes
An overview of the CFTC’s Final Rule including updated federal position limits on 25 core referenced futures contracts as well as updates to exchange-set limits and rules on ...
Japan says “I do” to FEFTA
In an effort to promote foreign direct investment whilst protecting national interest, Japan has unveiled its new streamlined “Foreign Exchange and Foreign Trade Act'' ...
Brexit - Part 3 - What Are The Regulatory Impacts of Brexit?
Here we discuss FCA’s position on Brexit and the impact of Brexit on the Substantial Shareholding Disclosure regime, the EU Short Selling regulation, takeovers panels, ...
5 Reasons Why You Are Missing Disclosures
We highlight some of the most commonly overlooked aspects of Shareholding Disclosure and how they can lead to the risk of fines and reputational damage.
CaaS: Utilising the Power of the Cloud
As financial markets continue to globalise, the changing nature of regulatory requirements means that firms' approaches to compliance must be reconsidered.
Do You Know Your Total Cost of Ownership? (Part 3: Software as a Service)
In part 3 of this popular series we look at the likely costs you will incur if you choose to go with a Software-as-a-Service (SaaS) provider.